Brokerage Firm Misconduct

Our law firm represents institutional and individual investors nationwide in claims against financial and securities brokerage firms.

Experienced Counsel in FINRA and SEC Matters Involving Brokerage Firm Misconduct

Since 1990, Shepherd Smith Edwards & Kantas LTD LLP has represented thousands of institutional and individual investors nationwide in claims against hundreds of financial firms. Our attorneys, staff and consultants have over 100 years of combined legal experience and, collectively, also worked more than 100 years in the securities industry. We are therefore able to represent clients in all localities in claims against financial firms.

When it comes to brokerage firms you want to be able to trust that they’ll guide you and give you the correct advice for your investments. Since they’re the middle man between you and the company you want to buy stock from, by giving them your money you’re giving them your trust. However, broker fraud and misconduct happen all too often. If you’re afraid you’re at risk or have been a victim of broker fraud then contact our team today for help getting back what’s rightfully yours.

We Have Filed FINRA Claims Against Most Brokerage Firms

On behalf of our clients, our broker fraud lawyers have filed claims against financial firms for fraud, negligence and a variety of other wrongful actions. After an attorney has assessed a client’s experiences at a financial firm and decided that action is warranted, a claim is then filed in arbitration or in court. Each lawyer has a team to work closely with our clients and guide them through the process when dealing with broker fraud misconduct.

Listed below are some of the investment firms we have filed claims against on behalf of our clients. Through each of these is provided a firm profile and additional information about that firm.

Important Information You Should Know: Securities brokerage firms are licensed by FINRA.

Firms licensed through the Financial Industry Regulatory Authority, formerly the Financial Industry Regulatory Authority, must comply with securities regulations and federal and state securities laws. When these firms violate regulations or laws they can face actions by regulators or by federal or state criminal prosecutors.

Very few "securities police" have the impossible duty to attempt to govern billions of dollars in transactions each year, handled by hundreds of thousands of salespersons nationwide at thousands of securities firms. Approximately 660,000 registered salespersons at 5,300 securities firms handle hundreds of millions of transactions annually for over 60 million investors. It is impossible for securities regulators to police this activity.

Securities regulators and officials do not often recover losses for victims of securities fraud. Just as police give tickets and motorists usually hire attorneys to recover damages, victims of securities fraud hire attorneys to recover their losses. As well, claims against brokerage firms can be for securities fraud, or for breach of duty, breach of contract, negligence and other claims not covered by securities regulations or statutes.

Claims against brokerage firms are almost always determined in securities arbitration. When an account is opened at securities firms, investors sign documents which include agreements to arbitrate any dispute. The U.S. Supreme Court decided in 1987 that securities arbitration agreements are enforceable. Arbitration is a private proceeding which takes the place of court actions. Appeals of arbitration decisions to court are very limited and usually unsuccessful.

Investors represented by an attorney in securities arbitration are much more successful. Statistics prove that investors who file claims with the assistance of an attorney recover twice as often as those not represented. Only a small percentage of lawyers have ever represented an investor in arbitration and very few law firms nationwide have extensive experience with securities arbitration cases.

To learn whether you can recover losses through a claim against Broker Dealer Financial Contact Shepherd Smith Edwards & Kantas LTD LLP law firm for a free consultation with an attorney.

Available below alphabetically is a list of the name and address of each firm licensed by the Financial Industry Regulatory Authority (FINRA) to sell securities in the United States, as of January 1, 2007.

Additional Investment Firms ( A - M ) Additional Investment Firms ( N - Z )

Available below alphabetically is a list of the name and address of each firm licensed by the Financial Industry Regulatory Authority to sell securities in the United States, as of January 1, 2007.

A - B - C - D - E - F - G - H - I - J - K - L - M - N - O - P - Q - R - S - T - U - V - W - X - Y - Z

Client Reviews
★★★★★
"I am going to miss conversations with you, Sam Edwards. You’ve been a wonderful lawyer and a friend. I loved learning legal jargon from you. But, even more, it is your self respect and commitment to your position that I admire and your persistent patience-your equanimity. With great appreciation, thank you!" M.B.
★★★★★
"My experience with Ryan Cook has been very positive. Through every step of the litigation he explained what to expect to happen. When I spoke with him later he reviewed the process. He was very patient and I never felt rushed. I have already told friends how wonderful he is." L.R.
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